Corporate Electronic Document & Records
Management Strategy
December 2007
Version 1.0
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TABLE OF CONTENTS
Document control ............................................................................................................ 2
Executive summary ......................................................................................................... 4
Background: electronic records ....................................................................................... 6
Supporting the council’s business needs (drivers) .......................................................... 7
Findings: the current situation in the council ................................................................... 9
The Strategy .................................................................................................................. 11
Purpose ..................................................................................................................... 11
Scope ........................................................................................................................ 11
Aim/Vision .................................................................................................................. 13
Delivery ...................................................................................................................... 16
Policy ..................................................................................................................... 16
Information Architecture ......................................................................................... 18
Standards ............................................................................................................... 20
Technology ............................................................................................................ 21
Implementation....................................................................................................... 23
Priorities ................................................................................................................. 25
Alignment with other strategies/initiatives .................................................................. 25
Alignment with other council policies ......................................................................... 25
Considerations in delivering the Strategy .................................................................. 26
Next Steps ................................................................................................................. 26
Appendix 1: Planning the work programme ................................................................... 27
Appendix 2: Level 1 & 2 of the Local Government Classification Scheme .................... 30
Appendix 3: ESD Lists................................................................................................... 32
Appendix 4: External factors affecting SCC’s records management ............................. 34
3
Executive summary
In early 2007, as part of the wider reaching Corporate Records Management Strategy, the
Corporate Records Officer, (CRO) initiated a project to investigate more thoroughly the council’s
ability to manage its electronic documents and records effectively.
This was in response to a number of factors, but primarily was due to the increasing volume of
electronic records being created along with the growing demand to manage these more
efficiently and effectively to better support the council’s changing business needs,
(agile/partnership working, information sharing).
Over the last 4 months the CRO, in consultation with the Electronic Document and Records
Management (EDRM) Strategy Steering Group, 1have considered the results of this analysis
and investigated a number of options with a view to developing a Corporate EDRM Strategy that
will ensure support for the creation and management of sustainable records that will meet the
council’s requirements in both the short and long-term.
The Strategy sets out the council’s key goals:

To ensure that the council’s documents and records are ‘useable,’ (as defined in detail in
the Strategy) to the council’s stakeholders, (staff, councillors, citizens and partnership
organisations)

That where legitimate access is required that they sufficiently support improved service
delivery

To ensure that the overheads of managing documents and records as corporate assets
are reduced to a minimum
The Strategy is based on the recommendations evolved from the aforementioned investigations
to:
1. Establish SharePoint as the corporate collaboration platform that will facilitate the
process of document creation/collaboration (drafts)
AND
2. Initiate a project to procure a SharePoint compatible, corporate EDRM solution with
records management and bulk scanning functionality to act as a centrally managed
repository
The Strategy:

Identifies a number of key components, (Technology, Information Architecture, Policy,
Standards and Implementation Methodology) and additional recommendations that will
be needed to deliver the above, if the true benefits of a corporate approach to EDRM are
to be realised and exploited.
1 Representatives of corporate record systems, ICT and chaired by the Director of Change.
4

Proposes that these might be delivered via an over-arching EDRM programme delivered
over the next 3-5 years that is made up a distinct number of short and long-term
projects, (with various dependencies to be taken into consideration).
SharePoint
EDRM Programme

Information
architecture/
standards/
policies
Core information architecture, standards
and policies (file-plan, retention policy,
metadata standard)
EDRMS
SharePoint development and roll-out
Development of EDRMS business case,
(including statement of requirements)
Bespoke (local) information architecture,
standards and policies (file-plan, retention
policy, metadata standard)
Configuration and implementation of
EDRMS
Highlights the need for the Strategy and any resulting programme to be acknowledged
as more than the implementation of a technical solution, but rather as a corporate wide
change management programme that will look at how the council can improve the way
that it works.
5
Background: electronic records
The council creates and keeps records for a reason; to support operational requirements so
that it can function effectively and ensure compliance with its legal, regulatory and statutory
obligations.
However the way in which this is being done is changing as the council responds to:



The Transformational Government Agenda
Technological developments/advancements
Rapidly changing need to:
o Improve service delivery
o Make efficiency gains
o Work collaboratively with multi-agency partners
o Demonstrate transparency and accountability
o Encourage greater democratic engagement
The result is that an increasing amount of council work is now being conducted electronically
and thus fuelling the growth in:

‘Unstructured,’2 electronic records and documents that are created using office
applications such as MS Word, PowerPoint, etc (including email, web-pages, audio-visual
records3) that can then be stored in a variety of locations (shared drive, personal drives,
email inboxes, portal sites, intranet, databases, back-up tapes, CD/DVD’s, USB sticks,
etc.)

‘Structured’ database records held in various line of business applications (e.g. SAP)

Paper records/documents that have been//could be converted (scanned) to electronic
format
While electronic records are similar to paper records in that they can support the council’s
business and legal requirements, they can also offer many additional advantages to the council:








Quick to update/change (saving time/improving accuracy)
Enhanced search and retrieval facilities (quicker to find)
Increased accessibility (supporting remote/multiple users, information sharing)
Easily re-usable content (cut and paste, re-using information)
Reduction in duplicated/paper records and associated costs, (e.g. effort, photocopying
consumables, physical storage, transport and waste disposal)
Enhanced transparency and reporting (audit trails)
Support e-service delivery
Enhanced security features (permissions/controls)
2 Not in structured database format, e.g. emails, reports, minutes, agenda, etc.
3 e.g. voice/meeting recordings
6
In order for these benefits to be truly realised, it is paramount that electronic records are
appropriately managed from the point of their creation, as after this point they can prove
more difficult to manage because:

They are dependent on hardware and software that over time will become obsolete or
superseded, which may make them physically inaccessible over time if left un-managed.
(This means that their management not only relies on the user’s procedures but also the
management of the technology itself, which demands a pro-active approach to records
management)

The advantages of their flexibility to allow information to be changed, updated and re-used,
may also undermine their credibility as reliable and authentic sources if appropriate
controls are not also put in place (e.g. audit trails, access/security permissions)

The proliferation of different formats held in different information systems with limited
interoperability may mean that there is no joined up way of accessing and managing the
information across these silos
Supporting the council’s business needs (drivers)
In addition to overcoming these common problems, the importance of managing the council’s
documents and records as information assets cannot be underestimated if the council is to meet
growing demands to:
 Provide flexible options for the way that council staff work (Agile Working)
 Support information sharing across the council, (single customer) and with its partners,
including (SALIX, Urban Vision, Partners In Salford, NHS, GMP, etc)
 Support the council’s knowledge management aspirations in developing supporting tools,
(e.g. Information Observatory)
 Respond effectively to change (technological developments, changes in legislation,
government agenda, organisational re-structures, such as Electronic Social Care Record,
ContactPoint)
 Support delivery of the initiatives put forward by the ‘Strong and Prosperous Communities,’
whitepaper
 Respond to the increased emphasis on sharing services and information with partners in the
emerging Local Area Agreement 2, (2008)
 Support major service and transformational strategies of the council, including Building
Schools for the Future and ONE SALFORD
 Support the continuing drive for council efficiencies
 Support business change and enable more efficient delivery of services
 Meeting stakeholder expectations of how they should be able to access information and
services (more relevant information more quickly and securely)
 Satisfy the Audit Commission’s CPA process (provide reliable evidence of performance and
meet criteria for efficient use of resources and cross working)
 Ensure continued compliance with Data Protection, Freedom of Information and all other
relevant legislation
 Meet the requirements of the Section 46 Code of Practice on Records Management (issued
under the Freedom of Information Act)
7
 Meet the continuing e-Government agenda, priority service outcomes, (particularly G19) and
citizen take-up
 Address the council’s information security needs regarding compliance with
ISO/IEC27001:2005
 Address the council’s responsibility under Section 224 of the Local Government Act, 1972,
that requires, ‘proper arrangement,’ of records and archives
8
Findings: the current situation in the council
An initial assessment4 of the council’s records management in September 2006 identified the
council’s need to address Electronic Document and Records Management, (EDRM) in
response to a growing number of internal and external drivers5.
Since then:
 Regular self-assessments6 measuring compliance with the Lord Chancellor’s Code of
Practice on Records Management7 has highlighted the council’s continued need to address
its ‘active records management’ e.g. practice and provisions for managing records more
effectively
 A gap analysis8 was undertaken (in Summer 2007) to assess the records management
capabilities of the following council systems that were identified as holding and dealing with
unstructured records in a variety of web based stores, document imaging systems and
line of business applications:







ICLipse
CareStore
Docuware
PaperMaster
SAP
FLARE
CRM
(used in various departments across the council)
(Community, Health & Social Care and Childrens Services)
(Audit)
(Environment –team only)
(Corporate wide)
(Environment)
(Corporate wide)
The (above) were assessed against the core requirements of the Lord Chancellors Code of
Practice for Records Management (issued under Section 46 of the Freedom of Information Act
(2000) and the National Archive’s Functional Requirements for Electronic Records Management
Systems, (2002)). The result showed that collectively the systems only achieved the following
degree of compliance:










Capture and creation
27%
Version Control
33%
Declaration as a record
14%
Arrangement (classifications) 20%
Security & Access
22%
Management
12%
Search & Retrieval
13%
Distribute and Publish
17%
Presentation
7%
Storage, back-up and archiving 14%
4 ‘Preliminary Investigation: Identifying SCC’s records management priorities,’ – (that was undertaken by the Corporate Records Officer taken to Lead
Member on 11th September 2006)
5 See Appendix 4.
6 Self-assessment workbook issued by the National Archives
7 Issued under Section 46 of the Freedom of Information Act, (2000).
8 For more detail please see ‘Gap Analysis Report’ & ‘Detailed Findings.’
9


Review and disposal
Audit trail
1%
29%
The gap analysis report concluded that:

The existing infrastructure of silo systems is not conducive to meeting the aims of the
council because it does not provide:
o
o
o
o
A joined up way of effectively managing records and information across the
different systems/ teams (including back-up/archiving, reduction of duplication)
Flexible corporate spaces for sharing/publishing information that would support
collaborative work and supporting the One Council agenda and the notion of
virtual teams
Information tools and standards to help staff use the council’s information assets
to their full potential (re-use content, reporting)
Controls to give assurance to users that documents they create will be protected
from change/deletion (perpetuating personal storage)

Among this myriad of solutions that were assessed as part of the gap analysis, none
adequately met the council’s growing information and records management needs, as
well as the wider knowledge management aspirations

In addition to the silos of shared/personal folders holding corporate information and
records on the network (including Outlook mailboxes) there is currently no defined
strategy at a corporate level that oversees the implementation of any record keeping
systems to standards that ensure adequate capture and management of these business
records for the benefit of the council as a whole (instead focused on local needs)

With accommodation pressures and the need for the right information in the right place,
at the right time; the need to improve the current situation in terms of both improving the
accessibility, availability and management of electronic records as well as a developing
a strategy for converting paper records to an electronic format (scanned image) where
there is a valid business case - has become paramount
In response to these identified gaps, a number of options were considered:
1. Using SharePoint 2007 for EDRM
2. Using a dedicated EDRM solution for EDRM
3. Do nothing (continue to allow silo solutions)
The resulting Evaluation Report recommended the need to:
3. Establish SharePoint as the corporate collaboration platform that will facilitate the
process of document creation/collaboration (drafts)
AND
4. Initiate a project to procure a SharePoint compatible, corporate EDRM solution with
records management and bulk scanning functionality to act as a centrally managed
repository
10
The Strategy
Purpose
This strategy sets out the council’s aspiration to gain control of all its documents and records
held in multiple repositories in a consistent manner and how implementing the
recommendations of the Evaluation Report (previous page) can be practically realised.
In developing the strategy the council is committing to:
 A cultural and organisational change to improve the way that the council works
 The adoption of a planned and consistent approach to electronic records management
across the council
 The development of a framework of systems, standards and policies for managing all
electronic records now and in the future
Scope
The Strategy will cover the whole EDRM process as defined below
11
However it will not simply be about the technology, e.g. an EDRM System (EDRMS), but it will
be about providing a complete EDRM framework and will also encompass:
 Principles and standards
 Policy/procedures (e.g. retention and disposal policy)
 Design of record-keeping systems (both the technical solutions and design of information
architecture – e.g. corporate file plan)
 Implementation (configuration of systems in line with all business requirements,
methodologies for management of EDRM and information management projects,
governance arrangements and training)
In addition, although the strategy primarily concerns all unstructured electronic documents
and records such as Word documents, email, web-pages, it has also been expanded to
include:


Non-electronic records that can be managed electronically either by being scanned or
as a paper format that can be tracked in an electronic information asset inventory9
Structured records held in databases, (e.g. SAP, FLARE, Citizen) that need to be
managed according to the same principles
The strategy will primarily need to apply to all directorates within the council. It will however
need to take into account the needs of SCC partners using SCC systems to hold access and
manage the council’s records and information.
9 This will also help to better manage ‘hybrid records,’ e.g. those are made up of both electronic and paper components – as is often found with case
files.
12
Aim/Vision
The aim of the strategy is to ensure that all records and documents throughout their life-cycle
are, “USEABLE,” (as defined below) so that their true value can be realised throughout the
council by those who have a legitimate right to access and use them.
Up to date
Sustainable
Easy to manage
Accessible
Be trusted
Legally compliant
Ever available
For electronic records this means managing them from the point of their creation or capture;
as any decision on their treatment may affect their ability to be ‘useable’ in the long-term.
In principle this means that all documents and records should be proactively managed to ensure
that they are:
Up to date




Sustainable



Easy to
manage/use





Requirement
Created/ captured in a timely and effective manner to
ensure accuracy and completeness
Able to be updated if necessary but only in a controlled
manner
Able to transparently demonstrate that changes have
occurred so that users can make informed decisions
based on previous and current information
Retained only as long as is necessary for defined
business or legal purposes
Physically accessible in their entirety as a complete
record, (content and metadata) in the long term (if
necessary) even though the technology on which they
were created may be obsolete
Comprehendible over time so that the content still makes
sense in the long-term, (if necessary)
Able to act as the corporate memory and sustain
knowledge over time
Captured by the most efficient means of serving both
departmental and corporate needs
Supported by corporately agreed policies and standards
Managed consistently according to these policies and
standards by those staff responsible for each record/set
Managed with minimum effort and cost as part of an
integrated business process
Able to support improvements to service delivery where
necessary
Recommendation
1,4, 9,11,12,13,14,15,
1,3,4,6,11,12,13,15
1,2,4,6,7,8,10,11,12,13
,14,15,16
13
Requirement
Able to support re-use of information content where
permissible
Easy to find by:
 Browsing (logically) through a corporate file-plan
 Searching/browsing for a document/record title
 Searching on a keyword contained in the text
 Searching on a controlled vocabulary term that it has
been assigned
 Searching on detail about the document/record itself,
(metadata) such as creator, date, etc
Recommendation

Accessible
Be trusted
Legally
compliant
Ever available
 Able to demonstrate that they have been managed securely
and protected from any unauthorised changes, (intentional or
accidental)
 Able to demonstrate when, who, why they were created so
that users can make an informed judgement on the reliability
and accuracy of their contents
 Compliant with the requirements of the Data Protection
Act where personal data is concerned
 Managed effectively to meet the council’s obligations
under various ‘access to information regimes, ‘such as
Freedom of Information (FOI) Environmental Information
Regulations
 Used and re-used appropriately within the constraints of
the law, (e.g. Council Tax regulations)
 Able to meet the standards required by internal and
external auditors
 Able to demonstrate a level of authenticity that is required
to ensure maximum evidential weight is attributed to it in
a Court of Law
 For those containing ‘sensitive information,’10 available
only under controlled means to those within the council
with a legitimate need to access
 For all other ‘non-sensitive information,’ made available
for open access across the council where there is no
genuine security restriction. (In principle if the information
would be disclosable to the public under FOI, then there
is little justification to keep it restricted within the council)
 Available remotely
 Available simultaneously (supporting multiple user
access)
 Backed up with appropriate contingencies in place
(business continuity plan and disaster recovery plan,
especially for those designated as ‘vital records’11)
 Easily located and available on request if only held in
1,4,6,7,8,9,10,14,15,16
a,16d
1,4,5,6,9,11,12,13,15,1
6c
1,2,4,5,9,11,12,13,15,1
6c
1,3,4,6,7,8,9,11,12,13,
14,15,16
10 Personal data or business sensitive information that would be exempt under FOI.
11 Those records that if lost would result in major impact on the whole council’s ability to function, protect its assets or result in substantial financial
loss.
14

Requirement
paper forma
Where viable converted to electronic format (either by
being captured electronically or converting the paper to a
scanned image)
Recommendation
15
Delivery
There are several strategic initiatives recommended to deliver this vision and they have been
arranged in the following categories:





Policy
Information architecture
Standards
Technology
Implementation
It is envisaged that these initiatives and the detailed recommendations (below) will be
implemented via the EDRM Programme as a number of individual projects that may be run both
consecutively and concurrently as appropriate; but each aligned to delivering the Strategy
overall. (Appendix 1 contains a list of suggested projects, although the implementation of any
recommended actions will be determined in a separate work-plan).
Policy
1. Develop and implement a Corporate EDRM Policy
a) Outline corporate commitment to a corporate solution that will seek to meet both
individual and corporate business needs
b) Outline a corporate approach to EDRM
c) Articulate responsibility for compliance with the policy
2. Develop and implement a corporate retention and disposal policy that outlines all
record types held in the council and the conditions, (preferred format, time period,
storage) for their retention
a) Review with each business area the recommended periods for relevant local
authority record types as suggested by the Records Management Society of
Great Britain
b) Identify archiving requirements in light of the above
c) Review and refine the above with the business area and with legal
d) Establish a mechanism for having these signed off by both the business manager
and legal
e) Establish an accessible means for staff to be able to consult this document
f) Establish a procedure for keeping this policy updated (regular review)
g) Establish a mechanism for ensuring that this policy is made active in the
business areas and that there is a way that stakeholders can update its contents
as and when necessary
3. Develop and implement a digital preservation strategy to future proof the
availability of those documents and records that have been identified (above) as
being required to be kept for over 5 years for either business, legal or historical
reasons.
a) Review use of PDF/A as a preferred long term file-format
16
b) Consider benefits of open source technology to avoid dependency on proprietary
support for accessing held documents and records
c) Establish preferred storage medium (digital archive)
d) Establish a mechanism for regular review of support for formats
e) Establish a procedure for regular review of long-term records (to ensure that their
metadata etc are still adequate for the purposes of use and retrieval)
f) Ensure ESCROW arrangements are in place, to ensure that a copy of the source
code to the software is deposited with an escrow agent for business continuity
purposes in the event of insolvency, etc
g) Establish an individual risk- based12 migration plan, (based on the migration
strategy) at the point of creation for any types of records that are likely to be kept
longer than 10 years
h) Consider the need for an XML strategy for both migration and re-use of
information
4. Develop and implement an Email Management Policy
a) Establish a framework (repository, classification scheme, guidance) for capturing
those future emails that constitute a business record with other related business
records so that they can be managed consistently regardless of format
b) Establish a framework (custom folders, classification scheme, retention schedule,
archiving) for better managing the volume of future emails that are only of
temporary value to the council (e.g. non-records)
c) Establish a framework (quarantine, gradual migration) for dealing with existing
legacy of emails held by the council
5. Develop and implement legal admissibility procedures (scanning policy)
a) Establish a framework for identifying the need for legal admissibility procedures
based on risk
b) Refine and implement the ‘Legal Admissibility Toolkit,’ where legal admissibility is
required
c) Establish a basic set of scanning requirements for low risk scanning projects
d) Establish guidance for appropriate use of scanning and email facilities on MultiFunctional Printers (MFP’s)
12 Based on the risk of information/evidence loss and whether it would be critical.
17
Information Architecture
6. Establish and implement a Corporate metadata standard13 based on the EGovernment Metadata Standard(E-GMS)14 that will support enhanced retrieval and
management
a) Using the latest version of the E-GMS, review those elements that are nonmandatory but would offer additional benefits if captured
b) Based on the above review, identify all elements that need to be mandated
corporately for all documents and records held record-keeping systems
c) Evaluate the most efficient and effective means of capturing and securely storing
this information both in future and retrospectively
d) Establish a mechanism for ensuring that all new/upgrade systems comply with
these requirements
7. Agree standardised vocabularies as the basis for a corporate thesaurus, to ensure
that agreed terms are used consistently across the council for subject
classification of information,-to enhance search and retrieval.
a) Agree which standard E-Service Delivery (ESD) lists15 might be adopted as the
basis for the corporate thesaurus, (E.g. Integrated Public Sector Vocabulary)
based on corporate metadata requirements
b) Assess the potential of using ESD mappings to populate multiple metadata
elements from one entry, (e.g. by selecting an IPSV term it’s respective term in
other lists)
c) Investigate the potential of technical solutions as referred to in Recommendation
16A to manage the lists/thesaurus (maintain and customise it based on local
terms) and automate classification or mapping.
8. Develop a series of individual file-plans to collectively form a sustainable
corporate file-plan (based on function rather than organisational structure) to
ensure that documents and records can be held and managed consistently across
the council and enable improved information sharing with partners.
a) Adopt level 1 and 2 headings of the Local Government Classification Scheme16
as mandatory level 1 and 2 headings for the Corporate File-Plan. Customise
level 3 and beyond with customer consultation.
b) Apply business rules (security/access permissions, retention and disposal
actions) to each level/file as appropriate
c) Develop a workshop programme for engaging relevant staff in customisation/fileplan development.
d) Prioritise developing file-plans for records resulting from common functions
carried out across the council, (HR, Management, Finance, Health & Safety)
e) Develop business specific file-plans for documents/records that are specific to
particular areas of the council.
f) Establish a process for developing and implementing a file-plan for all new record
keeping systems
13 Metadata = ‘information about the information,’ that helps us to find it or manage it.
14 http://www.govtalk.gov.uk/schemasstandards/metadata_document.asp?docnum=1017
15 Please see Appendix 3
16 Please see Appendix 2
18
g) Establish a mechanism for reviewing and updating the corporate file-plan
9. Develop a Corporate Access and Security Model that identifies business areas
and documents/ records that deal with sensitive information and are more likely to
have requirements to restrict access to information.
a) At high level identify systems and business areas that could not operate a policy
of unrestricted access because of the sensitive information they hold.
b) Build on the customised file-plans to apply more detailed security permissions
where necessary.
10. Develop standard document templates for common types of documents/records
created in the council.
a) Identify common document/record types used across the council( minutes, agenda,
business plans, Job descriptions, etc)
b) Create a standard template for each that meets corporate branding, accessibility and
records management requirements.
c) Make these easily available for all staff to be able to access as part of their document
creation process.
19
Standards
11. For both the development and implementation of electronic records management
systems, (technical and non-technical) ensure compliance with methodologies
and requirements advocated by:
a) BS ISO 15489 – Records Management
b) Information Technology Infrastructure Library (ITIL)
c) ISO27001:2005 Information Security - Section A.7 Asset Management
12. Functionality of electronic records management systems must comply with the
council’s ICT Applications and Infrastructure Standards to ensure that the council
is able to specifically comply with:
a) EU Model Requirements for Electronic Records& Document Management
Systems (2)
b) BS ISO 15489 Records Management
c) ISO 27001 Information Security
d) PD0008: Legal Admissibility and Evidential Weight of Electronic Information
13. Associated policies and procedures for managing electronic documents and
records must be consistent with the best practice advocated in relevant
standards:
a)
b)
c)
d)
BS ISO 15489 Records Management
ISO 27001 Information Security
PD0008: Legal Admissibility and Evidential Weight of Electronic Information
PD0010: Principles of Good Practice for Information Management
20
Technology
14. Develop SharePoint as a document collaboration platform:
a) Identify priority business functions or candidates that would benefit from
document collaboration facilities of SharePoint
b) Design and develop standard architecture for SharePoint, (hierarchy of sites,
security model, site templates with standard document libraries/metadata
fields/content types/workflows/filters/searches)
c) Establish a framework for rolling out SharePoint (assessment of business case,
development of sites, training and technical/administrative support)
d) Establish policy for appropriate use of SharePoint that also outlines information
management policies governing it and user/administrator responsibilities for
management and support
e) Establish migration path of content from SharePoint repository to back office
EDRM
15. Implement a complimentary EDRM solution*17 as a centralised managed
repository that supports a SharePoint interface
a) Conduct an information audit to inform requirements and business case
b) Develop a business case for the procurement of and EDRM solution
c) Establish a statement of requirements for an EDRM solution based on business
requirements and MOREQ2
d) Tender and evaluate potential solutions
e) Procure and customise solution, (based on agreed information architecture and
business needs for integration)
f) Develop a testing and implementation plan, (model office and pilots if necessary)
16. Investigate and evaluate additional tools that may not be standard as part of an
EDRM solution but may add value in terms of benefits that can be achieved and
improve user take-up.
a) Automated content classification tools that can both remove/reduce the manual
process of classifying information and metadata content (at the point of creation
and retrospectively) and improve consistency of filing and search and retrieval of
information by using synonyms in addition to keywords.
b) Workflow tools that can support document collaboration and transactional
business processes that result in documents/records being circulated and
processed across the council
c) Redaction tools that support a secure and convenient way of blocking out
sensitive/protected pieces of information (e.g. personal data) in documents that
are to be made available to the public (e.g. for Subject Access and FOI requests,
or web-published documents such as planning applications)
d) Complimentary web content management tools that support seamless publishing
of council held information (from the EDRM) and management of this published
content in line with agreed records management policies (e.g. retention periods)
17 * Please see note on alignment with strategies –this may be considered in the wider context of Enterprise Content Management
21
17. Agree an interim policy for how immediate scanning and EDRM requirements can
still be met until development and rollout of the above solutions can be achieved.
a) Establish a process for evaluating such requests on a case by case basis to see
if it possible to postpone until a corporate solution is available
b) Develop and mandate a standard statement of requirements that any interim
solution (should it still be sought) will need to meet to ensure future
migration/integration with a corporate solution.
22
Implementation
18. Establish a governance framework to manage these recommendations as a
corporate programme of work
a) Establish a corporate programme sponsor to promote the strategy and its work
b) Establish a supporting programme board of ICT and corporate members to:
 Secure corporate commitment for the strategy and the resulting
programme of work
 Gain stakeholder engagement and ensure a corporate mandate for the
programme of work (limiting opt-outs)
 Oversee projects and ensure that new corporate initiatives/business plans
are aligned with the strategy’s aims.
c) Outline and agree a programme of works/projects
d) Allocate ownership of projects (resources, responsibilities, service level
agreements, etc)
19. Develop a communications plan to raise awareness of the programme and gain
user engagement
a) Identify and target all main corporate stakeholders accordingly
b) Consider the benefits of setting up EDRM champions across the council for
promoting/feeding back on the programme
20. Adopt a consistent methodology for delivering the strategy
a) Adopt corporate Work Process Methodology, (WPM) as methodology for any
designated EDRM related projects, - especially EDRM implementations (as this
is consistent with that recommended by BS ISO 1548918
b) Ensure that all EDRM implementations are underpinned by a business case that
clearly illustrates the business benefits that are to be achieved through the
adoption of the technology (via a benefits management framework and focused
around effective business transformation to ensure that the benefits are fully
realised)
.
There are obvious dependencies between these recommendations, (as illustrated overleaf):

Primarily it will be difficult to proceed with rolling out SharePoint or an EDRM solution
until the information standards and file-plan/retention schedule and document templates
are established for those business areas concerned. (It may be possible to temporarily
restrict the scope so as to address email management and digital preservation at a date
independent of EDRM/SharePoint rollout).

The successful delivery of the strategy will be dependent on a number of
recommendations concerned with the governance arrangements for rolling out the
strategy.
18 BS ISO 15489 was mandated for local government in order to comply with Priority Outcome G19.
23
1.EDRM Policy
2.Corporate Retention & disposal
Policy
5. Legal admissibility (scanning
policy/procedures)
6. Corporate metadata standard
7. Corporate thesauri
(vocabularies)
14. Develop and implement
SharePoint for document
management
&
8. Corporate fileplan
15. Configure and implement
complimentary EDRMS
9. Corporate Access and Security
Model
10. Document templates/
workflows
3. Digital Preservation Strategy
4. Email management policy
17. Governance framework for
EDRM programme
18. Communications Plan
19. Methodology for delivering
strategy
Governance (quality and critical success factors)
11. Compliance with standard
methodologies
12. Compliance with ICT
standards
13. Align policies and procedures
with best practice
24
Priorities
As there are many recommendations, it will be important to highlight those where there is a
business imperative to address them earlier in the programme:





Development of SharePoint framework, as this is a technology that we already have and
is already being requested by customers
Development of business case for a complimentary EDRM solution, as this may
influence how we plan to develop and roll-out SharePoint
Development of Information Architecture as this will influence how SharePoint, EDRM
and associated technologies need to be configured
Management of any electronic records with retention periods of longer than 10 years or
permanent value to the council, (for business, historical, legal or other regulatory
purposes, e.g. council minutes)
Agreement on common types of electronic records that are used across the council,
(HR/Finance/Management/ Information Management) that can be managed more
consistently under a standard framework that can then be replicated across all
applicable areas of the council
Alignment with other strategies/initiatives
There are a number of current and planned corporate initiatives within the council that the
EDRM Strategy will support and is likely to impact upon. Where possible the Strategy has been
aligned with these aims











Records Management Strategy
Agile Working Strategy
Admin Review
Adoption of ITIL
Enterprise Content Management (ECM) / Project Serve
Knowledge Management Framework
SAP Strategy
ONE Salford
Review of web architecture
Information security compliance
Information Sharing Protocols
In addition it will be important to ensure that each directorate’s own initiatives are also aligned
with the Strategy.
Alignment with other council policies





Corporate Information Security Policy (CISP)
Corporate Records Management Policy
Data Protection Policy
Back-up and Recovery Policy
Data Quality Policy
25
Considerations in delivering the Strategy
It is important to note that the delivery of these recommendations is not just about implementing
policies and technology, but is about changing the way that the council and its staff works; and
must also be recognised as a major change management programme, with significant cultural
and training implications.
There is also a large dependency on stakeholder input, (the customers’ needs to define the way
that they work) and their availability may impact on delivery timescales.
Therefore because of what is involved, realistic timescales for delivery of the Strategy (and its
recommendations) in its entirety, is likely to be long-term, (up to 5 years).
However throughout this period, customers will still have needs and it is important that as part of
the Strategy that arrangement are made for how these will be dealt with. In doing so it will be
important to:
 Decide on how to prioritise – long term strategic deliverables or immediate operational
requirements
 Agree preferred interim solutions and arrangements, whilst the recommendations of the
strategy are put in place
Next Steps

Obtain both senior (executive) and stakeholder support for the EDRM Strategy and the
resulting programme of work (as it has a council-wide impact)

Allocation of resources to deliver the recommendations in the strategy to inform the
development of the EDRM Programme timetable

Formally establish a programme or work, timetable and deliverables in line with the
corporate Salford Programme and Project Management Methodology
26
Appendix 1: Planning the work programme
Below is a list of all the recommendations with an indication of delivery time scales:


‘Short term’ - may be possible to deliver in Year 1
‘Short to long-term’ – maybe started in year 1 but dependent on resources and
implementation plan may take longer to deliver in full.
8.
RECOMMENDATION
Develop and implement a corporate EDRM Policy
Develop and implement a corporate retention and disposal
policy
Develop and implement a digital preservation strategy
Develop and implement an email management policy
Develop and implement legal admissibility procedures,
(scanning policy)
Establish a corporate metadata standard
Agree standard vocabularies as the basis for corporate
thesauri
Develop a corporate file-plan
9.
Develop a corporate access and security model
10.
Develop standard document templates/workflows for common
document/record types
Ensure compliance with standard methodologies
Ensure compliance of records management systems with
corporate standards for ICT systems
Ensure procedures and policies are aligned with best practice
standards
Develop SharePoint as a document collaboration platform
1.
2.
3.
4.
5.
6.
7.
11.
12.
13.
14.
15.
16.
17.
18.
19.
Implement a SharePoint compatible EDRM solution as a
centralised repository
Investigate and evaluate additional information tools that add
value
Establish a governance framework to manage the EDRM
programme of work
Develop a communications plan
Adopt a consistent methodology for delivering the strategy
TIMESCALE
Short-term
Short to long
term
Long-term
Short-term
Short-term
Short-term
Short-term
Short to longterm
Short to long
term
Short to long
term
On-going
On-going
On-going
Short to longterm
Short to long
term
Short to long
term
Immediate
Short –term
Immediate
27
It is suggested that these recommendations may be combined into a number of key
projects:
PROJECT
*Corporate file-plan, retention schedule and
document templates
Email Management
SharePoint development and roll-out
(Possible priorities):
 Project sites – cross council and
directorate
 Meeting sites – cross council
 ESCR interim
 SOLAR council minutes
 Team sites
 CRM integration
EDRM implementation, (including business case
and procurement)
*Information Standards Project
RELEVANT RECOMMENDATIONS
2, 8, 9
4,
10, 14
15, 16
1, 3, 5,6,7
Although priorities have been highlighted in the strategy itself, the impact on related
projects is illustrated here:
SharePoint
EDRM Programme
Information
architecture/
standards/
policies
Core information architecture, standards
and policies (file-plan, retention policy,
metadata standard)
EDRMS
SharePoint development and roll-out
Development of EDRMS business case,
(including statement of requirements)
Bespoke (local) information architecture,
standards and policies (file-plan, retention
policy, metadata standard)
Configuration and implementation of
EDRMS
Where in theory activities can be run in parallel, (simultaneously) in practice there maybe
a finite internal resource, (records officer, projects services, business analysts, BPR, etc)
to lead these activities, which may impact on delivery times. Although timescales could
be accelerated with additional internal or external resources, it is important to understand
that there is still a large dependency on stakeholder input, (the customer’s needs to
define the way that they work/their needs, etc) and likewise their availability may impact
on delivery timescales.
28
This model therefore reflects:

The dependencies between projects (e.g. need to customise document and
record systems based on needs identified as part of business analysis mainly
undertaken as part of the collaboration, (SharePoint) and EDRM
implementation).

A roll-out model that provides a core package to customers to support generic
processes; with the need to work with the customer to then further develop a
local package that meets their individual business needs, (bespoke to their
service).

Consistency with best practice methodology for implementing EDRMS.
29
Appendix 2: Level 1 & 2 of the Local Government Classification Scheme
Adult care services
.
Asylum seekers
.
Carers
.
Community support
.
Criminal justice
.
Residential homes
.
Social issues
.
Supporting adults
.
Supporting disabilities
Children and families services
.
Adoption and fostering
.
Child protection
.
Childminding
.
Children looked after in care
.
Communications
.
Programme management and
development
.
Residential homes
.
Social issues
.
Special education
.
Supporting children
.
Supporting disabilities
.
Training
.
Youth justice
.
Youth services
Community safety and emergencies
.
Advice
.
Community safety
.
Emergency planning
.
Emergency service
.
Enforcement
.
Fire prevention
.
Measures against vandalism
.
Training
Consumer affairs
.
Advice
.
Enforcement
.
Environmental health
.
Investigation, inspections and
monitoring
.
Registration, certification and
licensing
Council property
.
Common land
.
Maintenance of council property
.
Property acquisition and disposal
.
Property and land management
.
Property use and development
Crematoria and cemeteries
.
Burial identity and location
.
Maintenance of burial grounds
Democracy
.
Decision making
.
Executive
.
Governance
.
Honours and awards
.
Member support
.
Planning
.
Representation
Economic development
.
Business intelligence
.
Promotion
.
Regeneration
.
Sustainability
.
Tourism
.
Training
Education and skills
.
Access and inclusion
.
Admissions and exclusions
.
Advice
.
Arts services
.
Curriculum development
.
Education welfare
.
Employment skills
.
Life long learning
.
Management of schools
.
Teaching
Environmental protection
.
Advice
.
Conservation
.
Monitoring
Finance
.
Accounts and audit
.
Asset management
.
Financial provisions
management
.
Financial transactions
management
.
Local taxation
.
National taxation
.
Payroll and pensions
Health and safety
30
.
Community safety
.
Compliance
.
Monitoring
.
Risk management
Housing
.
Advice
.
Enforcement
.
Estate management
.
Housing provision
.
Housing stock
.
Managing tenancies
Human resources
.
Administering employees
.
Employee relations
.
Equal opportunities
.
Monitoring employees
.
Occupational health
.
Recruitment
.
Terms and conditions of
employment
.
Training
.
Workforce planning
Information and communication
technology
.
Infrastructure
.
System support
Information management
.
Access to information
.
Archives
.
Knowledge management
.
Records management
.
Registration
Legal services
.
Advice
.
Bylaws
.
Land registration
.
Land and highways
.
Litigation
.
Management of legal activities
.
Planning controls
Leisure and culture
.
Allotments
.
Archives
.
Arts
.
Community facilities
.
Leisure promotion
.
Libraries
.
Museums
.
Parks and open spaces
.
Sports facilities
.
Sports
.
Tourism
Management
.
Ceremonial
.
Communication support
.
Corporate communication
.
Enquiries and complaints
.
External audits
.
Preparing business
.
Project management
.
Quality and performance
.
Statutory returns
.
Strategic planning
Planning and building control
.
Building control
.
Covenant control
.
Development control
.
Forward planning
Procurement
.
Contracting
.
Market information
.
Tendering
Registration and coroners
.
Inquiries into deaths
.
Marriage services
.
Registration of births, marriages
and deaths
.
Treasure trove
Risk management and insurance
.
Claims
.
Insuring against loss
.
Risk management
Transport and infrastructure
.
Design and construction
.
Harbours and waterways
.
Highway development control
.
Highway enforcement
.
Infrastructure management
.
Public transport
.
Rights of way
.
Road maintenance
.
Road safety
.
School transport
.
Traffic management
.
Transport planning
Waste management
.
Fly tipping
.
Street cleaning
.
Waste collection
.
Waste disposal
.
Waste reduction
31
Appendix 3: ESD Lists
These are standardised vocabularies used for populating various metadata elements
specified by the e-government metadata standard, (e-GMS).
It is important for documents and records to carry associated metadata (information
about the information) as it can assist with both their management and make them
easier to find/search.
Searching can be further improved if agreed terms are used, (e.g. “Human Resources”
for all personnel related matters) so that there is some consistency in classifying similar
information as the same thing.
The most prominent ESD list is the Integrated Public Sector Vocabulary, (IPSV) which is
a controlled vocabulary used for populating the “subject,” element in the e-Government
Metadata Standard, (e-GMS). It is ISO 2788 compliant (monolingual thesauri).and
mandated for all public sector resources published on external networks. (Each item
must have Subject metadata with at least one valid preferred term from IPSV/LGCL19
describing the main subject of the item in question.
Other lists include:
LGSL:
(PID list) – list of council services (outward facing not very good for
internal activities or services provided by another body).
Lists below are mapped to this to define characteristics of the service. This means that
by populating one element it is possible to derive linked values automatically, although
there may be need to customise some of these o make them fit for SCC.
LGDL:
Directory list, - lists depts/org who deliver these services.
LGCL/IPSV: Category List (derived from APLAWS and superseded by the IPSV) –lists
by subject area, (broad to narrow). Supports text search engines, (by
providing non-preferred terms). Suggested as useful as a browser
navigation structure for website/portal – although this may now be a use
that is better satisfied by the LGNL.
LGCS:
Classification Scheme – organises by function and activity, (useful for
records management and internal activities). (Also mapped to IPSV)
LGBCL:
Business Category List, (listed by sector) Also mapped to UK Standard
Industry Classification List 2003 (SIC 2003).
19 The IPSV took over GCL (Government Category List) and LGCL (Local Government Category List) which are still available for existing
users, but are no longer actively maintained and were to be phased out during 2006.
32
LGChL:
Channel list, -defines access/delivery channels for describing/measuring
e-service delivery, (e.g. face to face/electronic)
The following are not mapped to the LGSL:
LGIL:
Interaction list (e.g. providing info/procurement)
LGAL:
Audience list (carers, commuters)
LGTL:
Type List. Defines type/purpose of the resource as a search aid, (e.g.
agenda, report)
LGNL:
Navigation List, -useful as a navigation structure for websites.
LGATL:
Agency Type List defines partnership agencies that we share info with or
who deliver services on SCC’s behalf.
33
DRAFT ONLY
Appendix 4: External factors affecting SCC’s records management
Overview
Access to
Information
legislation
Statutory
requirement to
manage
records and
information in
accordance
with
established
standards
Environmental Information Regulations
Data Protection Act (1998)
Freedom of Information Act (2000)
Lord Chancellors Code of Practice on Records
Management issued under S46 of FOIA

Data Protection Act, (1998)
Source –
see
appendix
Statutory deadlines for providing access to information 17,18,19
means those records have to be accessible.
What are the implications for records management?
Although it is not a statutory requirement to comply,
there is an increased risk of breaching FOI legislation if
the recommended measures are not in place. DEFRA
also suggests that compliance with the Code will also
be instrumental in enabling Authorities to comply with
the EIR.
Principle 5 - Data not to be kept longer than
necessary The ‘necessary’ retention period should be
established and documented in a Retention Schedule.
Records should be disposed of in accordance with this
to ensure that the Act is not breached by unnecessary
retention. (However the Act allows for the transfer of
records to an Archive for historical/research purposes if
they meet ‘relevant conditions.’20)
Principle 7 - Security The data needs to be protected
from unauthorised processing, destruction or damage.
Retention and disposal schedule would reduce the risk
of untimely destruction, while the storage arrangements
20
18
20 The conditions include that data cannot be further processed to support decisions being made about the individual and that it will not cause distress to the data subject.
34
DRAFT ONLY
Overview
Public Records Act, (1958 &1967), instructs every
person responsible for public records to make
proper provision for the preservation of and access
to public records including selection, preservation,
deposit and access
Compliance
with best
practice
standards
Section 224 Local Government Act, (1972), states that,
‘a principal council shall make proper
arrangements with respect to any documents that
belong to or are in the custody of the council or any
of their officers.’
Code of Practice for Legal Admissibility and evidential
weight of information stored electronically,” BIP
0008, (2004)
BS ISO 15489
ISO/IEC27001:2005 (Previously BS 7799)
What are the implications for records management?
for such records will need to address protection from
both human intervention and environmental hazards.
It is unlikely that Salford City Council is responsible for
‘public records,’ (e.g. coroner/magistrate records not
those of local authority); Salford comes under the remit
of Manchester West Coroner based at Bolton. Need to
further investigate the provisions for magistrates. Salford
is no longer a designated place of deposit so cannot
accept these for long-term.
Not a statutory obligation but the ODPM has issued
guidance on, ‘proper arrangements.’ This covers both
the management of Authorities’ current administrative
records and ‘preservation and access,’ to historical
archives
Compliance is not obligatory but it is encouraged, (S46
Code) to give electronic records the best chance of
being accepted in court. Such procedures need to be
developed on at least risk-based approach, in those
areas creating electronic records, (using doc mgmt or
PCs) where litigation is likely.
British and International Standard on Records
Management (not only a list of requirements but includes
a methodology).
British and International Standard on Information
Technology-Security techniques-Information Security
Management Systems. The Corporate Information
Security Manager is tasked with aligning the Council with
these requirements.
Source –
see
appendix
21
22
35
DRAFT ONLY
Overview
Harper Case
Civil Procedure
Rules (31)
EU Data
Retention
Directive
ESCR (future
proof), legacy
files
Source –
see
appendix
Retention of back-up information needs scheduling and
4
disposing accordingly to minimise obligation to provide
this information.
Retention of electronic information needs to be managed
5
in an organised manner to facilitate a search with
minimum disruption, should it be required.
What are the implications for records management?
Information Tribunal Ruling extending the scope of FOI
to potentially include information held in back-up
systems
Practice direction issued to supplement CPR Rule 31.
Extends the definition to specifically include electronic
documents, including e-mail and other electronic
communications, word processed documents and
databases, (stored on computer systems and other
electronic devices and media, servers and back-up
systems and electronic documents that have been
‘deleted’. It also extends to additional information
stored and associated with electronic documents
known as metadata.
It also deals with the factors that may affect the
‘reasonableness, ‘of a search.
In December 2005, the EU Parliament approved the
SCC may be deemed an ISP and therefore retention of
EU Directive that would set out requirements for
transmission (especially email) information will need to
retaining data on communication traffic.
be in line with this.
ESCR is intended to bring together all the relevant
information for a service user into one place,
regardless of whether it consists of different formats,
(e.g. notes, emails, video, and letters). The
Department of Health has set several targets for
achieving this:
All new documents created or received for new cases,
(video and audio not included) Oct 2005
All new audio, video for new cases April 2006
This will require an EDRMS. Any implementation needs
to take into account a variety of RM needs, (BS ISO
15489 methodology) including sustainability of records
for up-to 100years and legal admissibility.
16
39
36
DRAFT ONLY
Overview
Children’s Act
(2004)
EU Directive
on the Re-use
of Public
Sector
Information,
(2003/98/EC)
E-Government
Priority
Outcomes
All new and pre-existing documents (inc. audio/video)
for current cases Oct 2006
The establishment of an integrated Children’s Service,
made up of various partners, (Police, Health
Authorities, etc) with Local Authorities having the lead
role for bringing partners together to implement a
programme of integrated delivery and therefore being
required to appoint a Director of Children’s Services
between 2006-08.
Should authorities want to supply their information for
re-use; (using documents held by public bodies for a
purpose other than the reason they created for) it
stipulates how this should be done.
ODPM has defined ‘Priority Outcomes,’ which
Local Authorities are expected to deliver. IEG21
funding has been given for undertaking this.
What are the implications for records management?
Source –
see
appendix
A file plan based on functions and activities (not depts)
will be required to accommodate the re-organisation now
and in the future. The increased need for information
sharing with partners will require security and
standardisation
(interoperability)
to
be
further
investigated.
8,9,10
Potential records management
public bodies will be required to
Asset List of all documents that
and the terms and conditions
permitted.
issues may occur as
produce an Information
are available for re-use
under which re-use is
23
SCC will need to commit to undertaking the BS ISO
15489 methodology in implementing any EDRM
measures or auditing current systems for compliance
with DP/FOI.
6
G19 requires, “Adoption of ISO 15489
methodology for Electronic Document Records
Management and identification of areas where
current
records
management
policies,
procedures and systems need improvement to
meet the requirements of FOI and Data
Protection legislation.”
21 (Implementing E-Government)
37
DRAFT ONLY
CPA
Gershon
Efficiencies
Overview
What are the implications for records management?
G21
requires,
“compliance
with
the
Government Interoperability Framework, (eGIF) including the Government metadata
standard, (e-GMS).”
To facilitate interoperability, electronic records
management systems should look at standardisation of
terms for naming documents, recording standard types
of information, using XML and adopting E-GMS,
(particularly those elements that may support improved
management of information).
CPA 2005-2008 is proposing to expand its
assessment of Cultural Services to include Archive
Services. Pilot work by the Public Services Quality
Group (PSQG) of the National Council of Archives is
being undertaken to establish KPIs.
Over the next 3 years, the ODPM will expect each
Local Authority to achieve 2.5% efficiency gains per
annum and demonstrate these in self-assessed
Annual Efficiency Statements
Without a publicly accessible Archive Service it is
unlikely that SCC will perform well against any such
KPIs. The CPA requirements will need to be clarified,
(whether Archive are optional for inclusion) and work on
KPIs need to be monitored.
Potential RM savings include:
 Procurement of Commodity Goods and
Services
- Co-ordinated approach to arrangements for longterm record storage facilities
- Co-ordinated procurement of record disposal and
destruction services, (shredding).
 Corporate Service Efficiencies
- More efficient retention and disposal of records
can free-up storage space and reduce need to
buy extra capacity, (especially electronic
storage).
 Productive Time
- Implementing Records Management policies and
procedures to standardise processes can ensure
that records are accessed and managed more
Source –
see
appendix
7
24
38
DRAFT ONLY
Overview
What are the implications for records management?
Source –
see
appendix
promptly; thus reducing the time that staff spend
on locating and retrieving information.
Integrated
Public Sector
Vocabulary
(IPSV)
Local
Government
Classification
Scheme,
(LGCS)
ISO 19005
Document
management -Electronic
document file
format for longterm
preservation
Mind the Gap
Greater
Manchester
Consistent standardisation across the public sector of
terms for populating the ‘subject,’ metadata element of
E-GMS, (required as part of Priority Outcome R3). It
now includes internal facing terms. (Supported by EService Delivery Toolkits).
Standardised classification scheme for organising
records to enable organisations to manage and share
information more effectively.
Investigate use for categorising the information held in
the FOI publication scheme. External project to map it to
LGCS (below) may assist with auto-classification of
documents for.
25
Should be used (adapted) as a basis for file plans to
enable consistent management. It is due to be mapped
to the Local Government Retention Schedule (expected
June 2006).
26
Part 1: Use of PDF 1.4 (PDF/A-1) Defines a file format Need to evaluate as part of the strategy for managing
based on Portable Document Format (PDF) which electronic records.
aims to provide a mechanism for representing
electronic documents in a manner that preserves their
visual appearance over time, independent of the tools
and systems originally used for creating, storing and
rendering the files.
A ‘state of the nation,’ report launched at the House of
commons in February 2006 highlighted the need for a
preservation strategy for electronic records that need
to be held over 20 years.
This will be a priority for records such as those created
as part of the ESCR where retention period may be upto 100 years. It suggests that it would be most cost
efficient to do this at the point of creation, particularly
when systems are set up and that it will require a cross
disciplinary team to take on responsibility for this.
As part of AGMA, Salford contributes jointly to the Investigate whether Salford would be committed to
funding of the GMCRO. GMCRO currently holds public funding part of this and whether any additional storage
1
14
39
DRAFT ONLY
Overview
What are the implications for records management?
County
Records
Office,
(GMCRO) bid
records on behalf of the Council due to SCC Archive capacity for Salford would be included in this.
Service no longer being recognised as a place of
deposit. GMCRO no longer has capacity for further
deposits and is therefore proposing re-location and a
bid for a new storage facility.
European
Regional
Development
(ERDF)/Europ
ean Social
Funding (ESF)
As a recipient of funding, SCC will have received a
contract that obliges them to manage associated
funding records in a prescriptive manner, (detailed in
the contract). It is common for these to be requested to
be kept in original form and for lengthy retention
periods.
Requirements
for EDRMS
These can be audited and non-compliance can result
in funding being re-claimed by the ERDF/ESF.
Both the National Archives (TNA) in the UK and the
DLM Forum (European) has developed functional
requirement specifications for auditing EDRMS
against. DLM Forum is in the process of updating
their’s to MOREQ 2, with National Archive involvement
Identify those held in SCC and whether current
provisions are compliant.
Source –
see
appendix
26
Should consider the long-term costs of maintaining
records in accordance with the EU requirements when
making future funding bids.
Need to look at applying the TNA’s spec in the local
government environment and using this to assess
systems against.
37,38
Need to keep up with developments on MOREQ 2,
40